Course Overview, Course Goal, and Objectives

This course will provide an overview of Public Assistance hazard mitigation project eligibility. By the end of the course, State, Local, Tribal, and Territorial Applicants and Recipients will be able to understand all aspects of Section 406 Mitigation of the Robert T. Stafford Act (sometimes referred to as Public Assistance or PA Mitigation)

Upon successfully completing the course, you will be able to:
  • Define Section 406 Mitigation
  • Explain which types of projects are eligible for FEMA Public Assistance grant funding under Section 406 authority
  • Identify the benefits and opportunities to reduce repetitive disaster losses by pursuing projects authorized under Section 406 Hazard Mitigation
  • Discuss examples of potential mitigation work across damage categories C through G (Permanent Work)
  • Explain the various methods to determine cost effectiveness of hazard mitigation proposal eligibility
Lesson 1 Overview and Objectives

This lesson introduces hazard mitigation. It provides an overview of the different hazard mitigation programs authorized under the Robert T. Stafford Act and discusses common Section 406 Hazard Mitigation projects for Permanent work.

At the end of this lesson, participants will be able to:
  • Identify the administrative requirements of the course
  • State the goals and objectives of the course
  • Define hazard mitigation as it relates to Section 406 of the Stafford Act
  • Discuss the types of mitigation measures eligible for Public Assistance funding under Section 406 of the Stafford Act
Hazard Mitigation

Hazard mitigation is defined as any sustained action taken to reduce or eliminate long-term risk to people and property from natural hazards and their effects. Merely repairing at-risk facilities to their pre-disaster condition does not protect the community from future disaster damages or reduce long-term costs.

Mitigation improvements should always be considered in the rebuilding process. FEMA has the authority to provide Public Assistance funding for cost-effective hazard mitigation measures for facilities damaged by an incident.*

*Robert T. Stafford Act 406(e), 42 U.S.C. 5172 (e), and 44 C.F.R. 206.226(e).

The FEMA Disaster Recovery Center in North Port used storm shutters to mitigate the destructive winds of Hurricane Charley.
Why Mitigate?

As disasters have grown in frequency and severity, the costs of response and recovery have escalated to unsustainable levels. Nationwide natural disasters cost over $50 billion each year.

The most effective way to reduce potential losses is through disaster preparedness and mitigation. Mitigation can reduce excessive losses by:

  • Breaking the disaster-rebuild-disaster cycle
  • Strengthening existing infrastructure and facilities
  • Addressing natural hazards
Hazard Mitigation Funding (1 of 2)

FEMA provides hazard mitigation funding under both the Public Assistance and Hazard Mitigation Assistance programs. These programs have different eligibility criteria, procedures, and timelines for implementation.

National Flood Insurance Act of 1968 NFIA

Hazard Mitigation Assistance 

Non-Disaster Related Programs

Stafford Act Section 203

Hazard Mitigation Assistance 

Non-Disaster Related Programs

Flood mitigation for insured propertiesPre-Disaster Mitigation: Multi-hazard project-specific
Hazard Mitigation Funding (2 of 2)

FEMA provides hazard mitigation funding under both the Public Assistance and Hazard Mitigation Assistance programs. These programs have different eligibility criteria, procedures, and timelines for implementation.

Stafford Act Section 406

Public Assistance Disaster-Related Programs

Stafford Act Section 404

Public Assistance Programs-Disaster-Related Programs

Public Assistance: Mitigation of incident-caused damageHazard Mitigation Grant Program: Multi-hazard statewide mitigation

Funding: Available for disaster-damaged facilities only*

*See exceptions for Alternative Projects in Chapter 8, Section IV.B.2 of the Public Assistance Program and Policy Guide v4

Funding: Available for damaged and non-damaged facilities based on a percentage of dollars obligated to the Public Assistance and Individual Assistance programs
Section 404 vs Section 406

The different hazard mitigation programs are authorized by separate sections of the Robert T. Stafford Act. The Hazard Mitigation Grant Program is authorized by Section 404. Hazard mitigation funded by the Public Assistance Program is authorized by Section 406.

Section 406 focuses on mitigation measures for facilities that have actually been damaged in a particular disaster. Section 404 has a broader scope and funds mitigation projects for both damaged and non-damaged facilities.

404 Mitigation406 Mitigation
  • Hazard Mitigation Branch/State Program
  • May apply statewide
  • Includes preventative measures
  • Public and private properties
  • Benefit-Cost Ratio > 1.0
  • Limited funding
  • Public Assistance Program
  • Applies only to declared counties
  • Includes only damaged facilities
  • Public and Private Non-Profit facilities only
  • 15% rule, 100% rule, or Benefit-Cost Analysis
  • No program funding limits
Section 404: Hazard Mitigation Grant Program

Section 404 assists in implementing long-term hazard mitigation planning and projects following a Presidential major disaster declaration. It provides funds to States, Territories, Tribes, and local communities to protect public or private property through various mitigation measures.

Section 404 Recipients have the primary responsibility for prioritizing, selecting, and administering state and local hazard mitigation projects. Because Recipients have different approaches to executing the Hazard Mitigation Grant Program, you should consult with the local government in question to learn more about Section 404 procedures in a particular case.

For more details, read FEMA's Hazard Mitigation Assistance Guidance or visit the FEMA Hazard Mitigation Assistance page.

A house elevated on pylons, with plywood storm shutters protecting its windows.
Combining Funding

Applicants may use both 406 and 404 mitigation funds to implement mitigation measures on the same facility, but not for the same work. Funds from one of these mitigation programs also cannot be used to meet the non-Federal cost share of work funded under the other mitigation program.

A combination of Sections 404 and 406 funding may be appropriate where:

  • Section 406 hazard mitigation funding is used to provide protection to the parts of the facility that were damaged by the event
  • Section 404 hazard mitigation funding is used to provide protection to the undamaged parts of the facility
The ground below this street paving was washed away by Hurricane Ike's storm surge, causing the road to collapse. Miles of this Galveston Island highway are destroyed and completely washed away.
Combined Funding Case Study (1 of 3)

A FEMA Site Inspector determined that a 3-mile section of a 10-mile long storm water pipe was damaged during a Presidentially declared disaster.

Damage to a road caused by flood water. The road collapsed around a drainage pipe that ran under it.
Combined Funding Case Study (2 of 3)

Repair and mitigation of the 3 miles of damaged pipe would be eligible for Public Assistance funding and Section 406 Hazard Mitigation funding.

These damages and the mitigation proposal for the 3 miles of pipe would be documented in the Public Assistance Grants Portal. The Applicant can begin work on the repair and mitigation of the 3 miles of pipe before the project is approved.

A staging area where different types of pipe are laid out
Combined Funding Case Study (3 of 3)

The additional 7 miles of undamaged (or undamaged by the declared event) may be eligible for Section 404 Hazard Mitigation funding.

The Applicant would have to follow the State's application process for these funds and can only begin mitigation of the 7 miles of undamaged pipe once the application is approved.

A FEMA Public Assistance Site Inspector reviews repairs made to corrugated pipe drain system damaged during the severe storm and flood in September 2009.
Common Hazard Mitigation Measures

Hazard mitigation can only be applied to permanent work. Some examples of common hazard mitigation measures include:

  • Increasing the number or size of drainage structures to prevent roadway destruction and washout
  • Adding wing walls, riprap, stone, gabion baskets (wire mesh filled with stone), or bioengineering to control erosion
  • Elevating facilities above the flood elevation
  • Securing equipment with hurricane straps
  • Elevating electrical transformers to avoid utility damage
A construction crew builds Gabion walls to stabilize the road bank and creek along Route 10 in New York state that was washed away by Hurricane Irene.
Hazard Mitigation Example: Elevation of Standby Generators

Elevate or dry flood-proof components or systems vulnerable to flood damage, including:

  • Equipment controls
  • Electrical panels
  • Heating, ventilation, and air conditioning/machinery rooms
  • Emergency generators
  • Fuel tanks

When wiring cannot be elevated, replace with equipment suitable for submerged applications.

Left: A CAT generator at ground-level. Right: A generator elevated on a concrete platform.
Hazard Mitigation Example: Low Water Crossings

Bridges vulnerable to flood damage can sometimes be replaced with low-water crossings if traffic counts are low. As the term suggests, low-water crossings are dry when water levels are low but likely to submerge during floods, becoming unsafe for traffic.

A car driving over a flooded low-water crossing. A low-water bridge crossing a body of water during non-flood conditions.
Hazard Mitigation Example: Hurricane Winds

Hurricane winds and wind-blown debris can cause significant damage to structures. If windows are broken in high winds, the building's contents become vulnerable to damage.

Storm shutters are one of the most common methods of protection against damage from high winds. They are fastened over windows or other vulnerable openings to protect them and can be made from materials such as corrugated metal, plastic, wood or plywood, and polycarbonates.

Corrugated metal hurricane shutters on a building in Wrightsville, NC.
Lesson 1 Summary

This lesson introduced hazard mitigation. It provided an overview of the different hazard mitigation programs authorized under the Stafford Act and discussed common Section 406 Hazard Mitigation projects for Permanent work.

In this lesson, participants learned how to:
  • Identify the administrative requirements of the course
  • State the goals and objectives of the course
  • Define hazard mitigation as it relates to Section 406 of the Robert T. Stafford Act
  • Discuss the types of mitigation measures eligible for Public Assistance funding under Section 406 of the Robert T. Stafford Act